Securities Commission Meeting
General Information
- Government Type
- State Agency
- Entity
- Department of Commerce
- Public Body
- Securities Commission
Notice Information
- Notice Title
- Securities Commission Meeting
- Notice Subject(s)
- Securities
- Notice Type(s)
- Meeting
- Event Start Date & Time
- March 21, 2019 09:00 AM
- Event End Date & Time
- March 21, 2019 12:00 PM
- Event Deadline Date & Time
- 03/18/19 01:00 AM
- Description/Agenda
- Utah Securities Commission March 21, 2019 9:00 A.M - 12:00 P.M., Room 451 Agenda Welcome & Call to Order Tab 1: Approval of the January 24, 2019 Minutes Director's Report: Tom Brady Section Reports: 1. Enforcement: Dave Hermansen 2. Compliance: Ken Barton 3. Registration & Licensing: Bryan Cowley Tab 2: Education and Training Fund Report: Bryan Cowley Tab 3: Grant Request: Diversify Consideration and Approval of Proposed Orders: Tab 4: Dallas Tall, SD-17-0015: Order on Motion for Summary Judgment (Paula) Tab 5: Lee Charles Rasmussen, SD-19-0003: Stipulation and Consent Order (Sean) Hearing Kenny Andam, SD-16-0034: evidentiary fine Cetera, SD-18-0014: Stipulation and Consent Order (Eric/Tom M) Paul Neuenswander, SD-18-0015: Stipulation and Consent Order (Eric/Tom M)
- Notice of Special Accommodations (ADA)
- Compliant.
- Notice of Electronic or Telephone Participation
- N/A
Meeting Information
- Meeting Location
-
160 E Broadway RM 451
Salt Lake City, 84111
Show in Apple Maps Show in Google Maps - Contact Name
- PBM-00005299
- Contact Email
- abuchholz@utah.gov
- Contact Phone
- (801)530-6436
Notice Posting Details
- Notice Posted On
- January 04, 2019 08:49 AM
- Notice Last Edited On
- March 20, 2019 11:49 AM
- Deadline Date
- March 18, 2019 01:00 AM
Download Attachments
| File Name | Category | Date Added |
|---|---|---|
| 3-21-2019 Commission Meeting 150103_0003.MP3 | Audio Recording | 2019/03/22 09:36 AM |
| 3-21-2019 Commission Meeting 150103_0006.MP3 | Audio Recording | 2019/03/22 09:36 AM |
| 3-21-2019 Commission Meeting 150103_0004.MP3 | Meeting Minutes | 2019/03/22 09:36 AM |
| Approved 1-24-19 Minutes.pdf | Meeting Minutes | 2019/03/22 09:37 AM |
| Proposed Meeting Minutes.pdf | Meeting Minutes | 2019/03/22 03:20 PM |
| Combined Signed Orders.pdf | Other | 2019/03/22 09:35 AM |
| Kenneth Ekow Andam SD-16-0034.pdf | Other | 2019/05/28 10:11 AM |
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